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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

CUE FINANCIAL GROUP, INC.

CRD 21033

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3c5cf63e-c66e-ce6f-5fa8-69ee89c68421

Data as of Oct 6, 2022 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 79
Dated events: 16
On other graphs: 0
Observed: Mar 27, 2012 to Oct 6, 2022
40 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-66538
CRD: 21033
Filings on the tape: 40
First filed: Mar 27, 2012
Latest filed: Oct 6, 2022
Organised: Corporation, Arizona

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
MELBY, MICHAEL, RYAN	CHIEF COMPLIANCE OFFICER / COO	E	yes	07/2022	Mar 27, 2012	Oct 6, 2022

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	May 26, 2022	n/a	n/a	2	1	0	n/a	n/a
2021	May 1, 2021	n/a	n/a	2	1	0	n/a	n/a
2020	Apr 15, 2020	n/a	n/a	3	1	0	n/a	n/a
2019	May 24, 2019	n/a	n/a	3	1	1	n/a	n/a
2018	May 14, 2018	$478M	$377M	39	36	18	n/a	n/a
2017	May 17, 2017	$419M	$342M	47	40	n/a	n/a	n/a
2016	May 25, 2016	$383M	$321M	52	41	n/a	n/a	n/a
2015	May 19, 2015	$338M	$273M	54	42	n/a	n/a	n/a
2014	May 28, 2014	$333M	$249M	45	35	n/a	n/a	n/a
2013	May 24, 2013	$216M	$113M	41	35	n/a	n/a	n/a
2012	May 25, 2012	$165M	$58.5M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	n/a	n/a	n/a	n/a	n/a	1	2	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
PFG ADVISORS	12	Dec 31, 2018	Apr 20, 2018	SCOTTSDALE, AZ	Team lift out	RIA to RIA	46.2%
PFG ADVISORS	7	Dec 31, 2018	Apr 18, 2018	ALBUQUERQUE, NM	Team lift out	RIA to RIA	26.9%
SECURITIES AMERICA ADVISORS, INC.	2	Dec 31, 2017	Jan 16, 2018	PHOENIX, AZ	Team lift out	Other	7.1%
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER	2	Aug 10, 2015	Aug 25, 2015	SCOTTSDALE, AZ	Team lift out	Other	6.5%

Relationships

Controls (1)

← MELBY, MICHAEL, RYANOwnerCHIEF COMPLIANCE OFFICER / COO, ownership code E, individual
Mar 27, 2012 to presentfactForm ADV

Affiliated with (1)

← FOOTHILL SECURITIES, INC.Registered adviserother investment adviser, common control
factForm ADV

Registered with (71)

← MICHAEL RYAN MELBYAdvisorregistration: previous registration
Jul 15, 2008 to Dec 31, 2022factForm ADV
← SCOTT MICHAEL HANISHAdvisorregistration: previous registration
Mar 3, 2005 to May 17, 2019factForm ADV
← Heather Laurel ScharaAdvisorregistration: previous registration
Feb 25, 2013 to Jan 2, 2019factForm ADV
← TRACY DALE CUDAAdvisorregistration: previous registration
Mar 3, 2010 to Dec 31, 2018factForm ADV
← BRENDA KAY ASHWORTHAdvisorregistration: previous registration
Mar 19, 2012 to Dec 31, 2018factForm ADV
← JONATHAN FREDERICK GARTONAdvisorregistration: previous registration
Jun 24, 2008 to Dec 31, 2018factForm ADV
← BRUCE CLARK HOPPERAdvisorregistration: previous registration
Sep 18, 2012 to Dec 31, 2018factForm ADV
← CHARLES KNAPP RANDALLAdvisorregistration: previous registration
Mar 15, 2018 to Dec 31, 2018factForm ADV
← JEFFREY LEROY MURPHYAdvisorregistration: previous registration
Jul 8, 1997 to Dec 31, 2018factForm ADV
← WILLIAM STEVEN BATIEAdvisorregistration: previous registration
Feb 25, 2013 to Dec 31, 2018factForm ADV
← KEITH TERRENCE KLEINAdvisorregistration: previous registration
Mar 29, 2011 to Dec 31, 2018factForm ADV
← MICHAEL THOMAS PRIORAdvisorregistration: previous registration
Feb 27, 2018 to Dec 31, 2018factForm ADV
← STEPHEN MARK GORDONAdvisorregistration: previous registration
Mar 18, 2002 to Dec 31, 2018factForm ADV
← RICHARD DEAN PECOTTEAdvisorregistration: previous registration
Jun 16, 2015 to Dec 31, 2018factForm ADV
← DARIN JAY BOURGEOISAdvisorregistration: previous registration
Dec 17, 2004 to Dec 31, 2018factForm ADV
← JODIE LYNN GALLOVICHAdvisorregistration: previous registration
Mar 4, 2010 to Dec 31, 2018factForm ADV
← HAROLD CHARLES MORROWAdvisorregistration: previous registration
Nov 13, 2013 to Dec 31, 2018factForm ADV
← MATTHEW PHILLIP CANOAdvisorregistration: previous registration
Oct 16, 2013 to Dec 31, 2018factForm ADV
← JACQUELINE LEE FLINDALLAdvisorregistration: previous registration
Jun 23, 2008 to Dec 31, 2018factForm ADV
← MARLI ANNE SMYTHEAdvisorregistration: previous registration
Jun 23, 2008 to Dec 31, 2018factForm ADV
← JOSEPH FRANK KROLESKIAdvisorregistration: previous registration
Feb 6, 2018 to Dec 31, 2018factForm ADV
← TODD JUSTIN LERNERAdvisorregistration: previous registration
Oct 20, 2017 to Dec 31, 2018factForm ADV
← JED M WEBBAdvisorregistration: previous registration
Apr 18, 2018 to Dec 31, 2018factForm ADV
← TIFFANY ERIN LUMAdvisorregistration: previous registration
Oct 20, 2014 to Dec 31, 2018factForm ADV
← Tracie M ReithmannAdvisorregistration: previous registration
Apr 6, 2016 to Dec 31, 2018factForm ADV
← STEVEN ROBERT COOKAdvisorregistration: previous registration
Jul 12, 2007 to Dec 31, 2018factForm ADV
← KEVIN JAY AGUASAdvisorregistration: previous registration
Sep 1, 2009 to Dec 10, 2018factForm ADV
← Cynthia Rene NagelAdvisorregistration: previous registration
Mar 1, 2016 to Mar 27, 2018factForm ADV
← Linda Jo JohnsonAdvisorregistration: previous registration
Jan 21, 2003 to Mar 15, 2018factForm ADV
← SCOTT BRADLEY PEDERSONAdvisorregistration: previous registration
Apr 16, 2008 to Dec 31, 2017factForm ADV
and 41 more

Moved with (3)

→ PFG ADVISORSRegistered adviser12 advisors, team lift out, same day
Dec 31, 2018 to Apr 20, 2018factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviser2 advisors, team lift out, same day
Dec 31, 2017 to Jan 16, 2018factForm ADV
→ UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNERRegistered adviser2 advisors, team lift out, same day
Aug 10, 2015 to Aug 25, 2015factForm ADV

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Dec 31, 2022
Advisor changed firm
Michael Ryan Melby left Cue Financial Group, Inc. for Pfg Advisors (registered 2018-03-02)
Form ADVobserved 3 days ago
Occurred
Aug 15, 2022
Control person left
C Justin Jolly (Chief Compliance Officer) no longer on Schedule A of Cue Financial Group, Inc. (listed 2022-05-26, absent 2022-08-15)
Form ADVobserved 3 days ago
Occurred
Aug 15, 2022
Control person left
Thomas Michael Prior (Chief Executive Officer) no longer on Schedule A of Cue Financial Group, Inc. (listed 2022-05-26, absent 2022-08-15)
Form ADVobserved 3 days ago
Occurred
May 26, 2022
Control person left
Ann Judith Kuplic (Owner) no longer on Schedule A of Cue Financial Group, Inc. (listed 2021-05-01, absent 2022-05-26)
Form ADVobserved 3 days ago
Occurred
May 26, 2022
Control person left
Edward James Sollenberger (Owner) no longer on Schedule A of Cue Financial Group, Inc. (listed 2021-05-01, absent 2022-05-26)
Form ADVobserved 3 days ago
Occurred
May 1, 2021
Control person joined
Ann Judith Kuplic (Owner) appeared on Schedule A of Cue Financial Group, Inc.
Form ADVobserved 3 days ago
Occurred
May 1, 2021
Control person joined
Edward James Sollenberger (Owner) appeared on Schedule A of Cue Financial Group, Inc.
Form ADVobserved 3 days ago
Occurred
May 1, 2021
Control person joined
Ryan Michael Melby (Owner) appeared on Schedule A of Cue Financial Group, Inc.
Form ADVobserved 3 days ago
Occurred
May 24, 2019
Control person joined
C Justin Jolly (Chief Compliance Officer) appeared on Schedule A of Cue Financial Group, Inc.
Form ADVobserved 3 days ago
Occurred
May 24, 2019
Control person joined
Thomas Michael Prior (Chief Executive Officer) appeared on Schedule A of Cue Financial Group, Inc.
Form ADVobserved 3 days ago
Occurred
May 24, 2019
Control person left
James Edward Sollenberger (Chairman) no longer on Schedule A of Cue Financial Group, Inc. (listed 2019-01-31, absent 2019-05-24)
Form ADVobserved 3 days ago
Occurred
May 24, 2019
Control person left
Ryan Michael Melby (Ceo/President) no longer on Schedule A of Cue Financial Group, Inc. (listed 2019-01-31, absent 2019-05-24)
Form ADVobserved 3 days ago
Occurred
May 24, 2019
Control person left
Judith Ann Kuplic (Executive Vice President/Secretary) no longer on Schedule A of Cue Financial Group, Inc. (listed 2019-01-31, absent 2019-05-24)
Form ADVobserved 3 days ago
Occurred
May 24, 2019
Control person left
Howard Gregory Culver (Chief Compliance Officer) no longer on Schedule A of Cue Financial Group, Inc. (listed 2019-01-31, absent 2019-05-24)
Form ADVobserved 3 days ago

Show 2 bookkeeping events

Occurred
May 24, 2019
Cue Financial Group, Inc. reported 3 state-registered advisory representatives, down from 39 (2019-01-31 to 2019-05-24)
Occurred
Dec 26, 2018
Cue Financial Group, Inc. reported 1 offices beyond its principal office, down from 17 (2018-10-30 to 2018-12-26)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3c5cf63e-c66e-ce6f-5fa8-69ee89c68421
First observed: Mar 27, 2012
Last observed: Oct 6, 2022 48 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CUE FINANCIAL GROUP, INC.

CRD 21033

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3c5cf63e-c66e-ce6f-5fa8-69ee89c68421

Data as of Oct 6, 2022 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:09 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MELBY, MICHAEL, RYAN

CHIEF COMPLIANCE OFFICER / COO

yes

07/2022

Mar 27, 2012

Oct 6, 2022

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

May 26, 2022

n/a

2021

May 1, 2021

n/a

2020

Apr 15, 2020

n/a

2019

May 24, 2019

n/a

2018

May 14, 2018

$478M

$377M

n/a

2017

May 17, 2017

$419M

$342M

n/a

2016

May 25, 2016

$383M

$321M

n/a

2015

May 19, 2015

$338M

$273M

n/a

2014

May 28, 2014

$333M

$249M

n/a

2013

May 24, 2013

$216M

$113M

n/a

2012

May 25, 2012

$165M

$58.5M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PFG ADVISORS

Dec 31, 2018

Apr 20, 2018

SCOTTSDALE, AZ

Team lift out

RIA to RIA

46.2%

PFG ADVISORS

Dec 31, 2018

Apr 18, 2018

ALBUQUERQUE, NM

Team lift out

RIA to RIA

26.9%

SECURITIES AMERICA ADVISORS, INC.

Dec 31, 2017

Jan 16, 2018

PHOENIX, AZ

Team lift out

Other

7.1%

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Aug 10, 2015

Aug 25, 2015

SCOTTSDALE, AZ

Team lift out

Other

6.5%